The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges that Morgan Stanley Smith Barney LLC (Morgan Stanley), a futures commission merchant (FCM) based in Purchase, N.Y., violated CFTC regulation 166.3 by failing to diligently supervise its employees’…
View post:
CFTC Orders Morgan Stanley Smith Barney LLC to Pay $200,000 for Supervision Violations